Salomon Whitney Financial complaint Archives

Rex Securities Law
July 15, 2019
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Praxedes Russi-Former Salomon Whitney Financial Broker- Discloses Customer Dispute and 5 Judgements- Farmington, NY

Praxedes Russi-Former Salomon Whitney Financial Broker- Discloses Customer Dispute and 5 Judgements- Farmington, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 15, 2019 October 11, 2019

October 2019-Farmington, NY The FINRA records of Praxedes Russi , a financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial disclose 2…

Rex Securities Law
June 11, 2019
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Ahmad Wares- Former Salomon Whitney Financial Broker- Discloses Customer Suits and Termination- Melville, NY

Ahmad Wares- Former Salomon Whitney Financial Broker- Discloses Customer Suits and Termination- Melville, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 11, 2019 June 11, 2019

June 2019 – Melville, NY According to publicly available records, Ahmad Wares, a financial advisor previously with Laidlaw & Company discloses 1 pending and 9 prior customer disputes, and a…

Rex Securities Law
May 10, 2018
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Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 10, 2018 March 8, 2019

March 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

Rex Securities Law
October 21, 2016
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Thomas J. Tedeschi-Former Joseph Stone Capital Broker-Discloses Regulatory Suspension

Thomas J. Tedeschi-Former Joseph Stone Capital Broker-Discloses Regulatory Suspension https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 21, 2016 October 21, 2016

October 2016-Farmingdale, NY The FINRA records of Thomas J. Tedeschi, a stockbroker who is currently employed by Salomon Whitney Financial disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…

Rex Securities Law
July 18, 2016
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Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 January 31, 2019

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…

Rex Securities Law
July 18, 2016
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Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
April 27, 2016
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Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records

Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 27, 2016 February 18, 2019

See this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…

Rex Securities Law
April 27, 2016
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Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 27, 2016 June 19, 2017

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…

Rex Securities Law
April 11, 2016
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Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 11, 2016 April 19, 2018

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…